P 212: EXPORT CONTROL POLICY

Issued by:

Office for Research Compliance, Office of the Vice-President for Research

Approved:

December 16, 2013

It is the policy of the university to assure due diligence and compliance with the United States federal government export control laws and regulations. Export control laws and regulations restrict certain types of information, technologies, and commodities that can be sent overseas to individuals/entities, including U.S. citizens, or made available to foreign nationals within the United States.

Any activity conducted by Stony Brook University or Research Foundation for SUNY personnel – (1) conducted at the state-operated campus on University controlled premises, or (2) conducted on behalf of the University in a foreign country, must assure compliance with the export control laws and regulations. All University and Foundation personnel must understand the export control requirements, if and/or how they apply to their work responsibilities, and to practice due diligence to assure compliance.

Background and Objectives:

United States federal government export control laws and regulations exist to protect national security and foreign policy interests. The goal of the export control compliance program is to balance the University's commitment to openness in research while adhering to export control laws and regulations. Generally stated, it is the policy of the State University of New York to not accept funding with publication and/or foreign national restrictions without the Chancellor's approval.

Definitions:

Deemed Export: an export of technology or source code (except encryption source code) released to a foreign national within the U.S.

Deemed Re-Export: an export of technology or source code (except encryption source code) released to a foreign national located in a second foreign national location (i.e. an Italian citizen in France).

Export: any item that is sent from the U.S. to a foreign destination; this can be to anyone outside the U.S., including U.S. citizens, or to foreign entities, individuals, embassies or affiliates at any location including the U.S.

Re-Export: shipment or transmission of an item subject to any regulation from one foreign country to another foreign country.

Foreign National: a person who is not: granted permanent U.S. residence, as demonstrated by the issuance of a permanent residence card, i.e., a "Green Card"; granted U.S. citizenship; or granted status as a "protected person" under 8 U.S.C. 1324b(a)(3), e.g., political refugees, political asylum holders, etc.

Fundamental Research: information arising from "basic and applied research in science and engineering, the results of which ordinarily are published and shared with the scientific community, as distinguished from proprietary research and from industrial development, design, production, and product utilization, the results of which ordinarily are restricted for proprietary or national security reasons" (National Security Decision Directive (NSDD) 189).

Applicable Regulations:

Export Administration Regulations (EAR) 15 C.F.R. §§730-774: through the Department of Commerce the Bureau of Industry and Security oversees Export Administration Regulations (EAR). The EAR regulate items, goods, and technology that a commercial or "dual" use (commercial and military/proliferation application). The list of items controlled under the EAR is called the Commodity Control List (CCL).

International Traffic in Arms Regulations (ITAR) 22 C.F.R. §§120-130: through the Department of State the Directorate for Defense Trade Commission oversee the International Traffic in Arms Regulations. The ITAR regulate items, goods, and technology that are military in purpose, or that can be used in a defense application/military operation. The list of items controlled under the ITAR is called the United States Munitions List (USML).

Office of Foreign Asset Controls (OFAC): through the Department of State the Office of Foreign Asset Controls (OFAC) administers and enforces economic and trade sanctions based on U.S. foreign policy and national security goals.

Procedures:

Stony Brook University and Research Foundation personnel are responsible for understanding the federal regulations as they pertain to their employment responsibilities and to complete an analysis to assess if there are any applicable export control regulations. This analysis should be conducted with the assistance of the Office of Research Compliance within the Office of the Vice President for Research (OVPR), which has been delegated university-wide authority in this area. Many university activities are excluded from EAR and ITAR or are eligible for exemptions, meaning that no license will be required. However, when an activity involves an export, the University must document its analysis of determining whether or not a license is required, including the availability of any exclusions or exemptions. The University is required under the federal laws and regulations to maintain all records for a period of five (5) years.

Reporting:

If any personnel become aware of potential violations, they should be immediately reported to the Office of Research Compliance at 631-632-9036 for further investigation.

Compliance/Sanctions:

All personnel must understand their obligations under U.S. federal export control laws and regulations and promote compliance with these laws and regulations. The penalties for violating these laws and regulations are significant and can result in criminal sanctions and/or fines against the individual and/or the University, loss of exporting privileges for the University, and/or loss of federal funds. Violation of this policy may result in disciplinary and/or legal action.

Inquiries/Request:

Office of Research Compliance
(631) 632-9036Judy Matuk
Asst. Vice-President for Research ComplianceSusan Gasparo
Asst. Director for Export Control Compliance